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上場投資信託規則

Regulation of Exchange-Traded Funds

Thomas Lemke, Gerald T. Lins, W. John McGuire

1 vol. Looseleaf., 2015 to date.(追録年1回)

Matthew Bender (LexisNexis), USA. ISBN: 9780769891316

¥107,328

在庫あり

上場投資信託(ETF)の法規制に関する包括的な実務ガイド。

【主な内容】

ETF市場/投資家と取引・投資戦略/ETFの組成/運用(株式の発行、償還、取引)/SEC規則/ETF販売活動/その他の上場取引型金融商品

【Table of Contents】

Chapter 1 Introduction to ETFs

Chapter 2 The ETF Marketplace

Chapter 3 ETF Investors and Their Trading and Investment Strategies

Chapter 4 Organizing an ETF

Chapter 5 ETF Operations - Creation, Redemption, and Transactions in Shares

Chapter 6 SEC Regulation of ETFs: Part I

Chapter 7 SEC (and Other) Regulation Part II

Chapter 8 ETF Selling Activities

Chapter 9 Other Exchange-Traded Products

Appendices

Appendix A Organization of Open End Exchange-Traded Investment Company (ETF) and Registration with SEC.

Appendix B Combination Exchange-Traded Funds, SEC No-Action Letter (pub. avail. June 27, 2007)

Appendix C Class Relief for Fixed-Income Exchange-Traded Funds, SEC No-Action Letter (Apr. 9, 2007)

Appendix D Class Relief for Exchange Traded Funds, SEC No-Action Letter (pub. avail. Oct. 24, 2006) (updates 2001 Class Relief Letter).

Appendix E Exemptive Relief for Exchange Traded Funds, SEC No-Action Letter (pub. avail. Aug. 17, 2001)

Appendix F Investment Company Act Release No. 28193 (Mar. 11, 2008)

Appendix G iShares Trust, SEC No-Action Letter (pub. avail. Oct. 22, 2008)

Appendix H Investment Company Act Release No. 25258 (Nov. 8, 2001)

Appendix I Investment Company Act Release No. 31300 (Oct. 21, 2014)

Appendix J Investment Company Act Release No 31333 (Eaton Vance),

Appendix K Select Sector SPDR Trust, SEC No-Action Letter (pub. avail. May 6, 1999)

Appendix L PDR Services Corporation, SEC No-Action Letter (pub. avail. Dec. 14, 1998)

Appendix M Letter from Catherine McGuire, Chief Counsel, Division of Trading and Markets to the Securities Industry Assoc. (dated Nov. 21, 2005)

Appendix N Treasury 10 FITR Exchange Traded Fund, SEC No-Action Letter (pub. avail. Nov. 1, 2002)

Appendix O Securities Exchange Act Release No. 67215 (June 19, 2012)

Appendix P Letter from Racquel L. Russell, Esq., Branch Chief, Division of Market Regulation, to George T. Simon, Esq. Foley & Lardner LLP (pub. avail. June 21, 2006)

Appendix Q Select Sector SPDR Fund and Diamonds Trust, SEC Staff No-Action Letter (pub. avail. July 6, 2000)

Appendix R Sample Participation Agreement

Appendix S Generic Section 12(d)(1) procedures

Appendix T Claymore Advisors, LLC, SEC No-Act. Letter (Apr. 27, 2010)

Appendix U Merger of Two Exchange-Traded Funds

Appendix V Letter from Elizabeth Osterman, SEC (Dec. 6, 2012)

Appendix W Non-Traditional ETFs

Appendix X Leveraged and Inverse ETFs: Specialized Products with Extra Risks for Buy-and-Hold Investors

Appendix Y Exchange-Traded Fund Performance. NASD Regulatory & Compliance Alert - Fall 2001